Statement of Changes in Beneficial Ownership (4)
September 01 2021 - 6:17PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Johnson larsh |
2. Issuer Name and Ticker or Trading Symbol
STEM, INC.
[
STEM
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Technology Officer |
(Last)
(First)
(Middle)
100 CALIFORNIA STREET, 14TH FLOOR |
3. Date of Earliest Transaction
(MM/DD/YYYY)
8/30/2021 |
(Street)
SAN FRANCISCO, CA 94111
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock, Par Value $0.0001 Per Share | 8/30/2021 | | M | | 110000 | A | $1.67 | 204060 | D | |
Common Stock, Par Value $0.0001 Per Share | 8/30/2021 | | F | | 53302 (1) | D | $24.96 | 150758 | D | |
Common Stock, Par Value $0.0001 Per Share | | | | | | | | 56698 | I | By Trust (2) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (Right to Buy) | $1.67 | 8/30/2021 | | M | | | 110000 | 1/11/2020 | 8/9/2026 | Common Stock, Par Value $0.0001 Per Share | 110000.0 | $24.96 | 647033 | D | |
Explanation of Responses: |
(1) | Represents shares that have been withheld by the Issuer to satisfy income tax withholding and remittance obligations in connection with the net settlement of stock option awards, and does not represent a sale by the reporting person. |
(2) | Shares held by trust for which the reporting person is a trustee. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Johnson larsh 100 CALIFORNIA STREET 14TH FLOOR SAN FRANCISCO, CA 94111 |
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| Chief Technology Officer |
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Signatures
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/s/ William Bush, Attorney-in-Fact | | 9/1/2021 |
**Signature of Reporting Person | Date |
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